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First Trust Small Cap Value AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$18.2M +$2.68M +40,492 +18%
Morgan Stanley
2
Morgan Stanley
New York
$12.9M -$1.27M -19,161 -9%
Wells Fargo
3
Wells Fargo
California
$12.4M +$411K +6,217 +4%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$8.86M +$1.7M +25,728 +25%
KWM
5
Kingsview Wealth Management
Oregon
$8.53M +$45K +681 +0.6%
PWS
6
Proactive Wealth Strategies
Georgia
$8.33M -$215K -3,256 -3%
Raymond James Financial
7
Raymond James Financial
Florida
$7.05M -$484K -7,326 -7%
Cetera Investment Advisers
8
Cetera Investment Advisers
Illinois
$4.78M +$537K +8,118 +13%
RBFC
9
Roman Butler Fullerton & Co
Missouri
$3.36M +$3.16M +47,850 New
Truist Financial
10
Truist Financial
North Carolina
$3.25M -$78.1K -1,182 -2%
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$2.82M +$332K +5,018 +14%
Envestnet Asset Management
12
Envestnet Asset Management
Illinois
$2.79M -$224K -3,393 -8%
UBS Group
13
UBS Group
Switzerland
$2.38M -$33.8K -511 -1%
Goldman Sachs
14
Goldman Sachs
New York
$2.07M +$1.36M +20,543 +227%
NL
15
NWAM LLC
Washington
$1.4M +$595 +9 +0%
IA
16
IFG Advisory
Georgia
$1.39M +$1.31M +19,854 New
Citadel Advisors
17
Citadel Advisors
Florida
$1.16M +$1.1M +16,678 New
KAS
18
Kestra Advisory Services
Texas
$1.1M -$1.18M -17,806 -53%
Osaic Holdings
19
Osaic Holdings
Arizona
$1.01M +$80.5K +1,218 +9%
Two Sigma Investments
20
Two Sigma Investments
New York
$1.01M -$64.4K -975 -6%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$998K -$11.9M -180,171 -93%
Susquehanna International Group
22
Susquehanna International Group
Pennsylvania
$877K -$502K -7,599 -38%
Jones Financial Companies
23
Jones Financial Companies
Missouri
$870K +$402K +6,079 +96%
GWP
24
Gateway Wealth Partners
Wisconsin
$865K -$808K -12,231 -50%
PB
25
Pinnacle Bancorp
Nebraska
$853K